Page 1 of 1 , 5 Items in Total
31074 – Anonymous Case History
Decision: Suspension
Keyword(s): Disclosure to CFP Board; Felony-Non-Violent Crime; DUI/DWI
Standard(s) Violated: Article Article 3(c); 6.5
Decision Date: 10/01/2018
Summary:

Whether a CFP® professional violated CFP Board’s Standards of Professional Conduct when he was convicted of Driving Under the Influence (“DUI”), which in this case was a class 4 felony because of prior misdemeanor convictions.


21350 – Anonymous Case History
Decision: Suspension
Keyword(s): Employer Policy Violation; Fraud Related to Professional Activity; Felony-Non-Violent Crime; Misrepresentation; Fitness
Standard(s) Violated: Article 102; 607
Matter Type(s): Criminal Court
Decision Date: 08/03/2011
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct by pleading no contest to a third-degree felony for transmitting materials harmful to a minor, when adjudication was withheld.

21533 – Anonymous Case History
Decision: Suspension
Keyword(s): Professionalism; Misdemeanor; DUI/DWI; Settlement; Felony-Non-Violent Crime
Standard(s) Violated: Article Article 3(c); Article 3(a); 607; Article 12.2
Matter Type(s): Civil Court
Decision Date: 11/07/2008
Summary: Whether a CFP® certificant violated CFP Board’s Standards of Professional Conduct when she was convicted of: 1) leaving the scene of an accident involving a serious injury, which is a felony; and 2) driving under the influence, which is a misdemeanor.

27332 – Anonymous Case History
Decision: Suspension
Keyword(s): Failure to Cooperate with Staff; Felony-Non-Violent Crime
Standard(s) Violated: Article 6.1; 6.5
Matter Type(s): Criminal Court; Civil Court
Decision Date: 04/11/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when the State charged him with felony possession of child pornography, which he later pleaded down to felony unauthorized access to a computer.

28412 – Anonymous Case History
Decision: Suspension
Keyword(s): Settlement; Felony-Non-Violent Crime
Standard(s) Violated: Article 6.5; 5.1; 3.1; 3.2
Matter Type(s): Criminal Court
Decision Date: 01/07/2014
Summary: Whether a CFP® professional (“Respondent”) violated CFP Board’s Standards of Professional Conduct when he entered a plea of guilty on two felony charges and was sentenced to three years’ probation and a $10,000.00 fine for: 1) participating personally, substantially and willfully in a matter as an employee of the Internal Revenue Service (“IRS”) in which he and an organization with whom he was negotiating employment had a financial interest; and 2) willfully disclosing tax return information to another as an employee of the IRS.

Page 1 of 1 , 5 Items in Total